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A filtered search by topic for all guidance, reports or research documents stored on the FMA website.

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Found 1454 results. Displaying page 2 of 97

  5. 21 April 2023

    2023 FMA Annual Letter of Expectations

    Letter of expectations delivered by the Minister to the FMA for the 2023/24 period.
    Tags
    Annual letter of expectations from the Minister, FMA
    Type
    PDF

  6. 20 April 2023

    Am I a Climate Reporting Entity FAQ

    Entities required by legislation to produce climate statements are known as Climate Reporting Entities or CREs. Find out if you are a Climate Reporting Entity on this fact sheet.
    Tags
    Climate related disclosure, Offer disclosure for equity and debt offers, Banking, Insurance Providers, Roles, Business
    Type
    PDF, Fact sheet

  8. 12 April 2023

    Judgment FMA v Zhong Ors

    High Court Judgment: Wei (Walker) Zhong and Lei (Regina) Ding have been found to have contravened the Financial Markets Conduct Act 2013 in relation to the trading of Oceania Natural Limited (ONL) shares.
    Tags
    Judgment, Enforcement
    Type
    PDF

  10. 5 April 2023

    Prosecution policy

    This prosecution policy (the Prosecution Policy) sets out the specific decision-making criteria to be applied when considering criminal prosecution
    Tags
    Enforcement
    Type
    PDF

  11. 4 April 2023

    Guidance Effective disclosure

    This guidance note is for Issuers of securities under the Securities Act 1978 pursuant to the transitional provisions of the Financial Markets Conduct Act 2013. It is also for their directors and advisers. It gives guidance on the approach the Financial Markets Authority (FMA) intends to take in reviewing prospectuses and investment statements for compliance with the law.
    Tags
    Directors, Roles, Derivative Issuer, Business
    Type
    PDF, Guidance

  12. 30 March 2023

    Cigna Settlement agreement

    The Parties have agreed to settle all matters that were the subject of the Investigation on the terms set out in this Agreement.
    Tags
    Settlement, Enforcement
    Type
    PDF

  15. 30 March 2023

    Content and form of Disclose register information guidance note

    This guidance note is for Issuers and advisers who are required to produce a register entry for an offer of financial products under the FMC Act 2013. It gives guidance on matters the FMA recommends you consider when producing your register entry.
    Tags
    Derivative Issuer, Financial Adviser, Roles, Business
    Type
    PDF, Guidance